WEST MERGER SUB, INC.
CRD #168622 SEC #801-78455 LOS ANGELES, CA (213) 620-1850
SEC Registered Broker-Dealer Disclosures
Total AUM
$1B
Discretionary
$530.4M
Employees
150
Clients
1
Accounts
2,936
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- APRIL
- Registration Date
- --
- Latest Filing
- Aug 13, 2013
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CRONK, JAMES, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CRONK, JAMES, LEE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CROWELL, ANDREW, EDWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CROWELL, ANDREW, EDWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CROWELL, DONALD, WARREN | I | DIRECTOR | NA | Control |
| CROWELL, DONALD, WARREN | I | DIRECTOR | NA | Control |
| JOHNSTONE, WILLIAM, ADAM | I | DIRECTOR | NA | Control |
| JOHNSTONE, WILLIAM, ADAM | I | DIRECTOR | NA | Control |
| KARANTONIS, ANTONIOS | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KARANTONIS, ANTONIOS | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KERR, JAMES, PATRICK | I | DIRECTOR | NA | Control |
| KERR, JAMES, PATRICK | I | DIRECTOR | NA | Control |
| KRUGER, JAMES, ROY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KRUGER, JAMES, ROY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, THOMAS, STEVEN | I | DIRECTOR | NA | Control |
| NELSON, THOMAS, STEVEN | I | DIRECTOR | NA | Control |
| DAVIDSON COMPANIES | DE | HOLDING COMPANY | E | Control |
| DAVIDSON COMPANIES | DE | HOLDING COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DAVIDSON TRUST CO, AS TRUSTEE FOR EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | DAVIDSON COMPANIES | C | Control |
| DAVIDSON TRUST CO. | DE | EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | C | |
| DAVIDSON TRUST CO. AS TRUSTEE FOR EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | DE | DAVIDSON COMPANIES | C |
Registrations
Federal
IA
Aug 13, 2013 REGISTERED
Notice Filings (44)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL KY LA MA MD ME MI MN MO MS MT NC NE NJ NM NV NY OH OR PA SC SD TN TX UT VA VT WA WI WV
Address
624 S. GRAND AVENUESUITE 2510
LOS ANGELES, CA 90017
United States
Phone: (213) 620-1850